Compliance Manager
2 months ago
NLB Solutions are working with a financial services business in the search for a Compliance Manager. The successful candidate will report directly to the CFO and manage a small team. You will be responsible to provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements, must have 5 years’ experience within Financial Services.
With great offices and hybrid working patterns, the company offer someone the opportunity to join a well establish business that has great commercial ties with large businesses and an excellent reputation. The role is pivotal to the success of the business and so there is a supportive management team to help drive the role forward.
Duties:
* Ensure the Compliance function has appropriate regulatory engagement, procedures and monitoring activity adequately support the mandatory requirements
* Provide Compliance and AML oversight and Data Protection advice and guidance
* Contribute to regulatory returns being completed accurately and in a timely manner
* Review and communicate relevant regulatory developments to ensure the business is prepared for and able to comply with any new requirements.
* Ensure all day to day business as usual compliance breaches and complaints handling support is provided in a timely manner.
* Act as a second line defence to identify and monitor risks and provide a feedback loop to Head of Compliance & Risk and the Operational Practice of the business
* Provide ad hoc compliance training and coaching
* Contribute to the Compliance Monitoring Plan in order to analyse the company’s compliance with regulatory requirements including FCA obligations, Data Protection, Fraud Prevention and measures, Consumer Duty Basic Principals and anti-money laundering
* Contribute to and maintain the companies Breach Register, ensuring Breaches are reported and completed to a high standard and within the agreed SLAs
* Analyse the causes of regulatory and procedural breaches and ensure that practical remedial actions have been taken to mitigate against future occurrence
* Escalate any ISO security risk within the business
* Implement controls, document procedures and complete risk assessment reviews as required
* Ensure that any Compliance security breaches are completed within 24 hours as per the procedures
Person Spec:
* Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector
* Appropriate qualifications in financial services
* Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
* Display a commercial outlook
* Awareness of the FCA handbook and data protection
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